Author: Tim Roberts

Attorneys are held to high ethical standards. They often are privy to very sensitive information about their clients. Sharing that information inappropriately would constitute a breach of attorney-client privilege.

That’s just one example of an ethics violation. Unfortunately, ethics violations do occur. Some types are more common than others. The most common include the following:

Violations Resulting from Lack of Technological Literacy

It’s important to understand that not all ethics violations are intentional. For example, some attorneys are required to use technology they’re not familiar or comfortable with. They may thus accidentally allow sensitive client information to leak.

Many vendors offer training programs to assist in this area. An attorney who worries they might accidentally mishandle client information due to a lack of familiarity with new technologies should enroll in such a program.

Client Neglect

Sometimes, attorneys take on more cases they can handle. They may have good intentions when doing so. Many genuinely believe they can manage all the cases they accept.

This can cause them to stretch their bandwidth too thin. As a result, they might not give clients the attention they deserve.

The best way to avoid this violation is to pay attention to how stressed you are about the size of your caseload and how honest you are when clients ask if you’ve completed certain tasks. Ask for help from colleagues and take on fewer cases in the future if you notice any signs that you’ve taken on more than you’re equipped to handle.

Unreasonable Fee Modifications

The American Bar Association’s Model Rule 1.5 prohibits attorneys from charging unreasonable fees for their services. Some lawyers violate this rule when they attempt to modify their fee arrangements.

Clients need to thoroughly understand the nature of a fee arrangement. Contracts must address the scope of work that will be covered by a flat fee. They must also clearly explain how and why a fee arrangement could be modified. Violations are less likely to occur if clients know precisely what they’re getting into financially when hiring a lawyer.

Accepting ‘Accidental’ Clients

It’s becoming increasingly common for attorneys to offer potential clients advice via the internet. This can cause problems when potential clients believe that an attorney answering their questions now represents them.

To guard against attracting accidental clients, an attorney should ensure their website and social media pages feature disclaimers making it clear that answering someone’s questions doesn’t make an attorney their official legal representative. They should also generally only offer advice to potential clients who appear to be genuinely interested in hiring a lawyer.

Creating Hostile Witnesses

There are instances when criminal defense attorneys will interview witnesses who later become hostile during a trial, making statements that conflict with the statements they made during their initial interviews. This could potentially put the lawyer in a position to have to personally testify in a case in which the lawyer is also acting as an advocate, which is not permitted under the rules.

The best way to prevent this is to abide by the directions of ABA Criminal Justice Standard for the Defense Function 4-4.3(f). When interviewing a potential witness, an attorney should do so in the presence of another trustworthy and credible individual. This can help them more easily corroborate their account of the interview if a witness becomes hostile.

Exaggerating Qualifications

Attracting clients is a goal of most lawyers. To attract more clients, some attorneys exaggerate their credentials or even make false claims.

For example, a personal injury attorney trying to grow their business may make statements that seem to indicate they are experienced with courtroom litigation. This could be an ethics violation if, in reality, they actually settle almost all of their cases out of court.

It’s understandable that attorneys want to attract clients and grow their firms. However, honesty is always critical when speaking to one’s experience and qualifications. Any exaggerations or lies can result in problems for both an attorney and their clients.

Finally, some experts point out that an attorney’s personal life can cause them to commit ethics violations. If an attorney feels pressure to earn more money for their family, they might take on too much work and cope with the stress by developing substance abuse problems or simply neglecting their clients. 

This doesn’t need to happen. Being an attorney can be demanding, but it’s much less stressful in the long run if a lawyer takes steps to avoid the common ethics violations listed here. 

On Thursday, June 24, a New York court temporarily suspended Rudy Giuliani’s license to practice law in the state. The ethics violation that prompted the suspension involved false statements Giuliani made. Some believe Giuliani made these statements in an attempt to overturn former President Donald Trump’s loss in the 2020 presidential race. Others argue his statements could have resulted in riots or similar dangerous situations.

What Did the Court Say About Giuliani’s Statements?

Giuliani’s statements suggested rampant voter fraud occurred during the election. He failed to provide evidence to support such claims. In response, an attorney disciplinary committee requested that his license be suspended. They argued Giuliani’s statements represented a violation of professional conduct rules.

The court agreed and recommended a suspension since Giuliani’s statements posed an “immediate threat” to the public. Thus, the court suspended Giuliani’s license, although disciplinary proceedings remain ongoing.

According to the court, “[t]he seriousness of [Giuliani’s] uncontroverted misconduct cannot be overstated. This country is being torn apart by continued attacks on the legitimacy of the 2020 election and of our current president, Joseph R. Biden.”

What is the Legal Community Saying About the Suspension of Giuliani’s License?

Ronald Minkoff submitted the initial complaint to the New York Attorney Grievance Committee. He did so on behalf of multiple lawyers and lawyers’ groups. Minkoff states that suspending Giuliani’s license is a “once-in-a-lifetime decision.”

He also emphasizes its importance. This decision may signal to attorneys that they must always act honestly.

These kinds of temporary (or interim) suspensions are quite rare. New York University legal ethics professor Stephen Gillers says he was “gladdened” by the decision to suspend Giuliani’s license. He was also surprised. Gillers states the standard for justifying such decisions is “very high.”

Gillers also states that the circumstances surrounding this particular decision are unique. An attorney is usually subject to an interim suspension if it’s shown that they’ve cheated their clients in some manner. However, that’s not what happened here.

The rules Giuliani violated prohibit attorneys from making false statements to courts and other parties. According to the decision, an attorney’s false statements can “erode” public trust in lawyers and the legal profession in general.

The buildup to this moment has been significant. Previously, Rep. Bill Pascrell, Jr. (D-NJ) filed an ethics complaint stating Giuliani had “participated in frivolous lawsuits and used our nation’s courts to assault public confidence in the United States electoral system, violating the New York Rules of Professional Conduct.” The New York State Bar Association has indicated they’ve received “hundreds” of complaints regarding Giuliani’s conduct.

Some experts have stated that this case is also unique because Giuliani is a celebrity. Disciplinary authorities often hesitate when taking action against famous individuals. Celebrities typically have substantial resources they can use to fight back against disciplinary action.

Disciplinary authorities also tend to refrain from moving forward when a case involves political matters. To many, the fact that they acted now says a lot about the severity of Giuliani’s misbehavior.

What Happens Now?

Again, this is only a temporary suspension. Disciplinary proceedings still need to conclude. However, the court has stated that Giuliani’s misconduct “will likely result in substantial permanent sanctions at the conclusion of these disciplinary proceedings.”

Giuliani himself has dismissed the suspension of his license as a political decision. He claims the decision “could have been written by the Democratic National Committee.” According to Giuliani, the decision was made “to shut [him] up.” He added that the suspension wasn’t justified because none of his statements resulted in “a protest, a riot, an incident, an anything.”

Still, it appears other courts agree with the New York court’s decision. On July 7, Giuliani’s license to practice law in Washington, DC, was also suspended. The suspension will remain in effect pending the outcome of his New York disciplinary proceedings.

There’s reason to believe that Giuliani will face long-term consequences for his misconduct. We must wait and see how the disciplinary proceedings conclude. Generally, though, many see the suspension of his license as a major development in legal ethics.